VII.	PROGRAM-SPECIFIC	REQUIREMENTS	FOR	COMBINED	STATE	PLAN	PARTNER	PROGRAMS

States	choosing	to	submit	a	Combined	State	Plan	must		provide	information	concerning	the	six	core	

programs—the	Adult	Program,	Dislocated	Worker	Program,	Youth	Program,	Wagner-Peyser	Act	

Program,	Adult	Education	and	Family	Literacy	Act	Program,	and	the	Vocational	Rehabilitation	Program—

and	also	submit	relevant	information	for	any	of	the	eleven	partner	programs	it	includes	in	its	Combined	

State	Plan.			When	a	State	includes	a	Combined State Plan	partner	program	in	its	Combined	State	Plan,	it	

need	not	submit	a	separate	plan	or	application	for	that	particular	program.

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		If included, Combined State

Plan partner programs are subject to the “common planning elements” in Sections II and III of that document, 

where specified, as well as the program-specific requirements for that program (available on 

www.regulations.gov for public comment). The requirements that a State must address for any of the partner 

programs it includes in its Combined State Plan are provided in this separate supplemental document. The 

Departments are not seeking comments on these program-specific requirements, which exist under separate 

OMB control numbers and do not represent requirements under WIOA. For further details on this overall 

collection, access the Federal eRulemaking Portal at http://www.regulations.gov by selecting Docket ID number 

ETA-2015-0006.

Career	and	technical	education	programs	authorized	under	the	Carl	D.	Perkins	Career	and	

Technical	Education	Act	of	2006	(Title	20,	United	States	Code	(20	U.S.C.)	2301	et	seq.)	

NOTE:		Unless otherwise	noted,	statutory	references	in	this	section	are to	P.L.109-270—Carl	D.	Perkins	

Career	and	Technical	Education	Improvement	Act	of	2006	(Perkins	IV	or	the	Act).	(20	U.S.C.	2301	et	seq.)		

(OMB	Control	Number:		1830-0029)

I. Planning,	Coordination,	And	Collaboration	Prior	To	State	Plan	Submission

(a) Part	A.

(1) The	State	must	conduct	public	hearings	in	the	State,	after	appropriate	and	

sufficient	notice,	for	the	purpose	of	affording	all	segments	of	the	public	and	

interested	organizations	and	groups	(including	charter	school	authorizers	and	

organizers	consistent	with	State	law,	employers,	labor	organizations,	parents,	

students,	and	community	organizations),	an	opportunity	to	present	their	views	

and	make	recommendations	regarding	the	State	Plan.		(section.	122(a)(3))

(2) The	State	must	include	a	summary	of	the	above	recommendations	and	the	eligible	

agency’s	response	to	such	recommendations	in	the	State	Plan.		(Section	

122(a)(3))

(3) The	State	must	develop	the	State	Plan	in	consultation	with	academic	and	career	

and	technical	education	teachers,	faculty,	and	administrators;	career	guidance	

and	academic	counselors;	eligible	recipients;	charter	school	authorizers	and	

organizers	consistent with	State	law;	parents	and	students;	institutions	of	higher	

education;	the	State	tech	prep	coordinator	and	representatives	of	tech	prep	

consortia	(if	applicable);	entities	participating	in	activities	undertaken	by	the	

State	boards	under	section	101	of	the	WIOA; interested	community	members	

(including	parents	and	community	organizations);	representatives	of	special	

populations;	representatives	of	business	and	industry	(including	representatives	

of	small	business);	and	representatives	of	labor	organizations in	the	State.		The	

 

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States	that	elect	to	include	employment	and	training	activities	carried	out	under	the	Community	Services	Block	Grant	(CSBG)	Act	(42	U.S.C. 9901	et	seq.)	

under	a	Combined	State	Plan	would	submit	all	other	required	elements	of	a	complete	CSBG	State	Plan	directly	to	the	Federal	agency	that	administers	the	

program. Similarly,	States	that	elect	to	include	employment	and	training	activities	carried	by	the	Department	of	Housing	and	Urban	Development	and	

programs	authorized	under	section	6(d)(4)	and	6(o)	of	the	Food	and	Nutrition	Act	of	2008	that	are	included	would	submit	all	other	required	elements	of	a	

complete	State	Plan	for	those	programs	directly	to	the	Federal	agency	that	administers	the	program.
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State	also	must	consult	the	Governor	of	the	State	with	respect	to	development	of	

the	State	Plan.		(section	122)

(4) The	State	must	develop	effective	activities	and	procedures,	including	access	to	

information	needed	to	use	such	procedures,	to	allow	the	individuals	and	entities	

listed	in	item	3	above	to	participate	in	State	and	local	decisions	that	relate	to	

development	of	the	State	Plan.		(section	122(b)(2))

(5) The	State	must	develop	the	portion	of	the	State	Plan	relating	to	the	amount	and	

uses	of	any	funds	proposed	to	be	reserved	for	adult	career	and	technical	

education,	postsecondary	career	and	technical	education,	tech	prep	education,	

and	secondary	career	and	technical	education	after	consultation	with	the	State	

agency	responsible	for	supervision	of	community	colleges,	technical	institutes,	or	

other	2-year	postsecondary	institutions	primarily	engaged	in	providing	

postsecondary	career	and	technical	education,	and	the	State	agency	responsible	

for	secondary	education.		If	any	of	those	State	agencies	finds	that	a	portion	of	the	

final	State	Plan	is	objectionable,	that	State	agency	must	file	its	objections	with	the	

eligible	State	agency.		The	eligible	State	agency	must	respond	to	any	objections	it	

receives	in	the	State	Plan	that	it	submits	to	the	Secretary	of	Education.		(section	

122(e)(3))	

II. Program	Administration

(a)	Part	A.

(1) The	State	must	prepare	and	submit	to	the	Secretary	a	State	Plan	for	a	6-year	

period.		(section	122(a)(1))

(2) The	State	Plan	must	include	information	that	describes	the	career	and	technical	

education	activities	to	be	assisted	that	are	designed	to	meet	or	exceed	the	State	

adjusted	levels	of	performance,	including	a	description	of—

(A) The	career	and	technical	education	programs	of	study,	that	may	be	

adopted	by	local	educational	agencies	and	postsecondary	institutions	to	

be	offered	as	an	option	to	students	(and	their	parents	as	appropriate)	

when	planning	for	and	completing	future	coursework,	for	career	and	

technical	content	areas	that—

(i) Incorporate	secondary	education	and	postsecondary	education	

										elements;

(ii) Include	coherent	and	rigorous	content,	aligned	with				

										challenging	academic	standards,	and	relevant	career	and	

										technical	content	in	a	coordinated,	non-duplicative	progression	

										of courses	that	align	secondary	education	with	postsecondary	

										education	to	adequately	prepare	students	to	succeed	in	

										postsecondary	education;

(iii)	 May	include	the	opportunity	for	secondary	education	students	

to	participate	in	dual	or	concurrent	enrollment	programs	or			

										other	ways	to	acquire	postsecondary	education	credits;	and	

(iv) Lead	to	an	industry-recognized	credential	or	certificate	at	the	

							 postsecondary	level,	or	an	associate	or	baccalaureate	degree;		

(B) How the	State,	in	consultation	with	eligible	recipients,	will	develop	and	

implement	the	career	and	technical	programs	of	study	described	in	(a)	

above;
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(C) How	the	State	will	support	eligible	recipients	in	developing	and	

implementing	articulation	agreements	between	secondary	education	

and	postsecondary	education	institutions;

(D) How	programs	at	the	secondary	level	will	make	available	information	

about	career	and	technical		programs	of	study	offered	by	eligible	

recipients;

(E) The	secondary	and	postsecondary	career	and	technical	education	

programs	to	be	carried	out,	including	programs	that	will	be	carried	out	

by	the	eligible	State	agency	to	develop,	improve,	and	expand	access	to	

appropriate	technology	in	career	and	technical	education	programs;

(F) The	criteria	that	the	eligible	State	agency	will	use	to	approve	eligible	

recipients	for	funds	under	the	Act,	including	criteria	to	assess	the	extent	

to	which	the	local	plan	will—

(i) 		Promote	continuous	improvement	in	academic	achievement;

(ii)		Promote	continuous	improvement	of	technical	skill				

									attainment;	and

(iii)	Identify	and	address	current	or	emerging	occupational	

																				opportunities;

(G) How	programs	at	the	secondary	level	will	prepare	career	and	technical	

education	students,	including	special	populations,	to	graduate	from	

secondary	school	with	a	diploma;

(H) How	such	programs	will	prepare	career	and	technical	education	

students,	including	special	populations,	academically	and	technically	for	

opportunities	in	postsecondary	education	or	entry	into	high-skill,	highwage,	or	high-demand	occupations	in	current	or	emerging	occupations,	

and	how	participating	students	will	be	made	aware	of	such	

opportunities;

(I) How	funds	will	be	used	to	improve	or	develop	new	career	and	technical	

education	courses—

(i) At	the	secondary	level	that	are	aligned	with	rigorous	and	

challenging	academic	content	standards	and	student	academic	

achievement	standards	adopted	by	the	State	under	section	

1111(b)(1)	of	the	Elementary	and	Secondary	Education	Act	of	

1965,	as	amended;

(ii) At	the	postsecondary	level	that	are	relevant	and	challenging;	

							and

(iii)	That	lead	to	employment	in	high-skill,	high-wage,	or	highdemand	occupations;

(J) How	the	State	will	facilitate	and	coordinate	communications	on	best	

practices	among	successful	recipients	of	tech	prep	program	grants	under	

Title	II	and	other	eligible	recipients	to	improve	program	quality	and	

student	achievement;

(K) How	funds	will	be	used	effectively	to	link	academic	and	career	and	

technical	education	at	the	secondary	level	and	at	the	postsecondary	level	

in	a	manner	that	increases	student	academic	and	career	and	technical	

achievement;	and

(L) How	the	State	will	report	on	the	integration	of	coherent	and	rigorous	

content	aligned	with	challenging	academic	standards	in	career	and	
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technical	education	programs	in	order	to	adequately	evaluate	the	extent	

of	such	integration.		(section	122(c)(1)(A)-(L))

(3) The	State	plan	must	describe	how	comprehensive	professional	development	

(including	initial	teacher	preparation	and	activities	that	support	recruitment)	for	

career	and	technical	teachers,	faculty,	administrators,	and	career	guidance	and	

academic	counselors	will	be	provided,	especially	professional	development	that—

(A) Promotes	the	integration	of	coherent	and	rigorous	academic	content	

standards	and	career	and	technical	education	curricula,	including	

through	opportunities	for	academic	and	career	and	technical	teachers	to	

jointly	develop	and	implement	curricula	and	pedagogical	strategies;

(B) Increases	the	percentage	of	teachers	that	meet	teacher	certification	or	

licensing	requirements;

(C) Is	high	quality,	sustained,	intensive,	and	focused	on	instruction,	and	

increases	the	academic	knowledge	and	understanding	of	industry	

standards,	as	appropriate,	of	career	and	technical	education	teachers;

(D) Encourages	applied	learning	that	contributes	to	the	academic	and	career	

and	technical	knowledge	of	the	student;

(E) Provides	the	knowledge	and	skills	needed	to	work	with	and	improve	

instruction	for	special	populations;	and

(F) Promotes	integration	with	professional	development	activities	that	the	

State	carries	out	under	Title	II	of	the	Elementary	and	Secondary	

Education	Act	of	1965,	as	amended,	and	Title	II	of	the	Higher	Education	

Act	of	1965,	as	amended.		(section	122(c)(2)(A)-(G))

(4) The	State	Plan	must	describe	efforts	that	the	eligible	State	agency	and	eligible	

recipients	will	make	to	improve—

(A) the	recruitment	and	retention	of	career	and	technical	education	

teachers,	faculty,	and	career	guidance	and	academic	counselors,	

including	individuals	in	groups	underrepresented	in	the	teaching	

profession;	and

(B) the	transition	to teaching	from	business	and	industry,	including	small	

business.		(section	122(c)(3)(A)-(B))

(5) The	State	Plan	must	describe	efforts	that	the	eligible	State	agency	and	eligible	

recipients	will	make	to	improve	the	transition	of	subbaccalaureate	career	and	

technical	education	students	into	baccalaureate	degree	programs	at	institutions	

of	higher	education.		(section	122(c)(4))

(6) The	State	Plan	must	describe	how	the	eligible	State	agency	will	actively	involve	

parents,	academic	and	career	and	technical	education	teachers,	administrators,	

faculty,	career	guidance	and	academic	counselors,	local	business	(including	small	

businesses),	and	labor	organizations	in	the	planning,	development,	

implementation,	and	evaluation	of	career	and	technical	education	programs	in	the	

State.		(section	122(c)(5))

(7) The	State	Plan	must	describe	efforts	that	the	eligible	State	agency	and	eligible	

recipients	will	make	to—

(A) Improve	the	academic	and	technical	skills	of	students	participating	in	

career	and	technical	education	programs,	including	by	strengthening	the	

academic	and	career	and	technical	components	of	career	and	technical	

education	programs	through	the	integration	of	academics	with	career	

and	technical	education	to	ensure	learning	in—
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(i) The	core	academic	subjects	(as	defined	in	section	9101	of	the	

Elementary	and	Secondary	Education	Act	of	1965,	as	amended);	

and

(ii) Career	and	technical	education	subjects;	

(B) Provide	students	with	strong	experience	in,	and	understanding	of,	all	

aspects	of	an	industry;	and

(C) Ensure	that	students	who	participate	in	career	and	technical	education	

programs	are	taught	to	the	same	challenging	academic	proficiencies	as	

taught	to	all	other	students.		(section	122(c)(7)(A)-(C))

(8) The	State	Plan	must	describe	how	the	eligible	State	agency	will	provide	local	

educational	agencies,	area	career	and	technical	education	schools,	and	eligible	

institutions	in	the	State	with	technical	assistance.		(section	122(c)(15))

(9) The	State	Plan	must	describe	how	career	and	technical	education	in	the	State	

relates	to	the	State’s	and	region’s	occupational	opportunities.		(WIOA	section	

122(c)(16))

(10) The	State	Plan	must	describe	the	methods	the	eligible	State	agency	proposes	for	

the	joint	planning	and	coordination	of	programs	carried	out	under	this	legislation	

with	other	Federal	education	programs.		(section	122(c)(17))

(11) The	State	Plan	must	provide	a	description	and	the	information	specified	“in	

subparagraphs	(B)	and	(C)(iii)	of	section	102(b)(2),	and,	as	appropriate,	section	

103(b)(3)(A),	and	section	121(c),	of	the	Workforce	Innovation	and	Opportunity	

Act (Public	Law	113-128)	concerning	the	provisions	of	services	only	for	

postsecondary	students	and	school.	

(b)	Part	B.

(1) The	State	Plan	must	include	a	copy	of	the	eligible	State	agency’s	local	applications	

or	plans	for	secondary	and	postsecondary	eligible	recipients,	which	will	meet	the	

requirements	in	section	134(b)	of	the	Act.

(2) The	State	Plan	must	provide	a	description	of	the	State’s	governance	structure	for	

vocational	and	technical	education.

(3) The	State	Plan	must	provide	a	description	of	the	role	of	postsecondary	career	and	

technical	education	in	the	one-stop	delivery	system	established	by	Title	I	of	WIOA.		

III. Provision	Of	Services	For	Special	Populations

(a)	Part	A.

(1) The	State	Plan	must	describe	the	eligible	State	agency’s	program	strategies	for	

special	populations	listed	in	Section	3(29)	of	the	Act,	including	a	description	of	

how	individuals	who	are	members	of	the	special	populations—

(A) Will	be	provided	with	equal	access	to	activities	assisted	under	the	Act.		

(B) Will	not	be	discriminated	against	on	the	basis	of	their	status	as	members	

of	special	populations;	and

(C) Will	be	provided	with	programs	designed	to	enable	the	special	

populations	to	meet	or	exceed	State	adjusted	levels	of	performance,	and	

how	the	eligible	State	agency	will	prepare	special	populations	for	further	

learning	and	for	high-skill,	high-wage,	or	high-demand	occupations.		

(section	122(c)(9)(A)-(C))

(2) The	State	Plan	must	describe	how	the	eligible	State	agency	will	adequately	

address	the	needs	of	students	in	alternative	education	programs,	if	the	agency	has	

such	programs.		(section	122(c)(14))
5

(3) The	State	Plan	must	describe	how	funds	will	be	used	to	promote	preparation	for	

high-skill,	high-wage,	or	high-demand	occupations	and	non-traditional	fields.		

(section	122(c)(18))

(4) The	State	Plan	must	describe	how	funds	will	be	used	to	serve	individuals	in	State	

correctional	institutions.		(section	122(c)(19))

(5) The	State	Plan	must	describe	how	the	State	will	require	each	applicant	for	funds	

to	include	in	its	application	a	description	of	the	steps	the	applicant	proposes	to	

take	to	ensure	equitable	access	to,	and	participation	in,	its	Federally-assisted	

program	for	students,	teachers,	and	other	program	beneficiaries	with	special	

needs	as	contained	in	section	427(b)	of	the	General	Education	Provisions	Act	as	

amended.		For	further	guidance	and	examples,	see	the	Notice	to	All	Applicants	at	

http://www.ed.gov/fund/gran/apply/appforms/gepa427.doc

IV. Accountability	And	Evaluation

(a)	Part	A.

(1) The	State	Plan	must	describe	procedures	the	eligible	State	agency	will	use	to	

obtain	input	from	eligible	recipients	in	establishing	measurement	definitions	and	

approaches	for	the	core	indicators	of	performance	for	career	and	technical	

education	students	at	the	secondary	and	postsecondary	levels,	as	well	as	for	any	

other	additional	indicators	of	performance	identified	by	the	eligible	agency.		

(section	113(b)(1)(A)-(B),	sec.	113(b)(2)(A)-(C))

(2) The	State	Plan	must	describe	the	procedures	the	eligible	State	agency	will	use	to	

obtain	input	from	eligible	recipients	in	establishing	a	State	adjusted	level	of	

performance	for	each	of	the	core	indicators	of	performance	for	career	and	

technical	education	students	at	the	secondary	and	postsecondary	levels,	as	well	as	

State	levels	of	performance	for	any	additional	indicators	of	performance	

identified	by	the	eligible	agency.		(section	122(c)(10)(A),	sec.	113(b)(3)(B))

(3) The	State	Plan	must	identify,	on	the	forms	in	Part	C	of	this	section,	the	valid	and	

reliable	measurement	definitions	and	approaches	that	the	eligible	State	agency	

will	use	for	each	of	the	core	indicators	of	performance	for	career	and	technical	

education	students	at	the	secondary	and	postsecondary/adult	levels,	as	well	as	

any	additional	indicators	of	performance	identified	by	the	eligible	agency,	that	are	

valid	and	reliable.		The	eligible	State	agency	must	describe	how	its	proposed	

definitions	and	measures	are	valid	and	reliable.		(section	113(b)(2)(A)-(B))			

Section	113(b)	of	the	Act	describes	the	measures	that	a	State	must	use	for	student	

attainment	of	challenging	academic	content	standards	and	student	academic	

achievement	standards	in	reading/language	arts	and	mathematics	(1S1	and	1S2,	

respectively)	and	student	graduation	rates	(4S1).		Based	on	the	Department	of	

Education’s	non-regulatory	guidance,	the	measurement	definitions	on	the	Final	

Agreed	Upon	Performance	Levels	(FAUPL)	form	have	been	pre-populated	for	the	

eligible	State	agency’s	convenience.		The	eligible	State	agency	does	not	need	to	

describe	how	these	definitions	and	measures	are	valid	and	reliable	in	the	State	

Plan	narrative.		A	State	that	chooses	to	propose	other	student	definitions	and	

measurement	approaches	in	its	new	State	Plan	would	have	to	describe	how	its	

proposed	definitions	and	measures	would	be	valid	and	reliable.		
6

(4) The	State	Plan	must	describe	how,	in	the	course	of	developing	core	indicators	of	

performance	and	additional	indicators	of	performance,	the	eligible	State	agency	

will	align	the	indicators,	to	the	greatest	extent	possible,	so	that	information	

substantially	similar	to	that	gathered	for	other	State	and	Federal	programs,	or	for	

any	other	purpose,	is	used	to	meet	the	Act’s	accountability	requirements.		(section	

113(b)(2)(F))

(5) The	State	Plan	must	provide	performance	levels	for	each	of	the	core	indicators	of	

performance.		For	performance	levels	that	are	required,	the	States’	performance	

levels,	at	a	minimum,	must	be	expressed	in	a	percentage	or	numerical	form,	so	as	

to	be	objective,	quantifiable,	and	measurable;	and	require	the	State	to	continually	

make	progress	toward	improving	the	performance	of	career	and	technical	

education	students.		(section	113(b)(3)(A)(i)-(II))		

Section	113(b)(2)	of	the	Perkins	Act	requires	a	State	to	develop	valid	and	reliable	

core	indicators	of	performance,	to	propose	performance	levels	in	its	State	Plan,	

and	to	reach	agreement	with	the	Department	on	“adjusted	performance	levels”	

for	each	of	the	core	indicators.		In	so	doing,	the	Perkins	Act	prescribes	the	

measures	that	a	State	must	use	for	some	of	the	core	indicators.

(A) Section	113(b)(2)(A)(i)	of	the	Perkins	Act	requires	a	State	to	measure	

career	and	technical	education	students’	attainment	of	“challenging	

academic	content	standards”	and	“student	academic	achievement	

standards”	that	a	State	adopted	pursuant	to	section	1111(b)(1)	of	the	

ESEA.		The	Perkins	Act	further	requires	a	State	use	its	State’s	academic	

assessments	(i.e.	the	State’s	reading/language	arts	and	mathematics	

tests)	implemented	under	section	1111(b)(3)	of	the	ESEA	to	measure	

career	and	technical	education	students’	attainment	of	these	State	

standards.		Thus,	a	State’s	core	indicators	must	include	career	and	

technical	education	students’	proficiency	in	reading/language	arts	and	

mathematics	as	measured	under	1111(b)(1)	and	(3)	of	the	ESEA.		

Accordingly,	under	the	Perkins	Act,	a	State	must	report	the	number	or	

percent	of	its	career	and technical	education	students	who	score	at	the	

proficient	level	or	above	on	the	State’s	assessments	in	reading/language	

arts	and	mathematics	administered	under	the	ESEA	to	measure	the	

academic	proficiency	of	secondary	career	and	technical	education	

students	against	the	ESEA	standards.		

To	measure	attainment	of	these	standards,	a	State	must	develop	and	

reach	agreement	with	the	Department	on	“adjusted	performance	levels,”	

which	constitute	the	State’s	performance	targets	for	a	program	year.		

Permissible	targets	(i.e.	“adjusted	performance	levels”)	would	be	a	

State’s	“annual	measurable	objectives”	(AMOs)	from	its	State’s	ESEA	

accountability	workbook.		(To	ensure	that	a	State’s	schools	are	making	

“adequate	yearly	progress”	(AYP)	as	required	under	section	

1111(b)(2)(A)	of	the	ESEA,	section	1111(b)(2)(G)	of	the	ESEA	requires	a	

State	to	establish	Statewide	AMOs,	which	identify	a	single	minimum	

percentage	of	students	who	are	required	to	meet	or	exceed	the	

proficient	level	on	the	State’s	academic	assessments	each year.)		Under	
7

the	Perkins	Act,	a	State	may	propose	different	performance	levels	

(targets)	instead	of	its	AMOs	as	discussed	below.		

(B) Section	113(b)(2)(A)(iv)	of	the	Perkins	Act	requires	a	State	to	identify	a	

core	indicator	to	measure	for	its	career	and	technical	education	students	

at	the	secondary	level	“student	graduation	rates	(as	described	in	section	

1111	(b)(2)(C)(vi)	of	the	(ESEA)).”		Thus,	a	State	must	report	the	

number	or	percent	of	its	career	and	technical	education	students	whom	

the	State	includes	as	graduated	in	its	graduation	rate	described	under	

the	ESEA.		To	ensure	that	a	State’s	schools	are	making	AYP	as	required	

under	section	1111(b)(2)(A)	of	the	ESEA,	some	States	have	established	

Statewide	targets	for	graduation	rates	under	section	1111(b)(2)(C)(vi),	

and	other	States	have	defined	AYP	only	to	require	improvement	in	the	

graduation	rate	each	year.		

The	Department	strongly	encourages	the	State	to	reach	agreement	on	

“adjusted	performance	levels”	required	under	section	113	of	the	Perkins	

Act	for	the	core	indicators	discussed	in	(a)	and	(b)	above	that	are	the	

same	as		the	State’s	AMOs	or	targets	that		the	State	adopted	to	ensure	

that		the	State’s	schools	are	making	AYP	as	required	under	section	

1111(b)(2)	of	the	ESEA.		However,	as	noted	above,	the	State	may	not	

have	established	targets	for	graduations	rates	under	the	ESEA,	or		the	

State	may	wish	to	propose	performance	levels	for	these	core	indicators	

that	are	different	from		the	State’s	targets.		If	so,	the	State	must	provide	

baseline	data	using	the	State’s	most	recent	year’s	achievement	data	or	

graduation	rate	under	the	ESEA,	propose	performance	levels,	and	reach	

agreement	with	the	Department	of	Education	on	“adjusted	performance	

levels.”		(The	Secretary	of	Education	is	considering	whether	to	issue	

regulations	requiring	a	State	to	agree	to	“adjusted	performance	levels”	

under	the	Perkins	Act	that	are	the	same	as	the	State’s	AMOs	or	targets	

for	graduation	rate	under	the	ESEA.		If	the	Secretary	of	Education	

decides	to	regulate	on	this	issue	and	adopts	final	rules,	a	State	may	be	

required	to	amend	its	State	Plan.

(6) The	State	Plan	must	describe	the	eligible	State	agency’s	process	for	reaching	

agreement	on	local	adjusted	levels	of	performance	if	an	eligible	recipient	does	not	

accept	the	State	adjusted	levels	of	performance	under	section	113(b)(3)	of	the	Act	

and	ensuring	that	the	established	performance	levels	will	require	the	eligible	

recipient	to	continually	make	progress	toward	improving	the	performance	of	

career	and	technical	education	students.		(section	113(b)(4)(A)(II);	sec.	

122(c)(10)(B))

(7) The	State	Plan	must	describe	the	objective	criteria	and	methods	the	eligible	State	

agency	will	use	to	allow	an	eligible	recipient	to	request	revisions	to	its	local	

adjusted	levels	of	performance	if	unanticipated	circumstances	arise	with	respect	

to	an	eligible	recipient.		(section	113(b)(4)(A)(vi))

(8) The	eligible	State	agency	must	describe	how	it	will	report	data	relating	to	

students	participating	in	career	and	technical	education	programs	in	order	to	
8

adequately	measure	the	progress	of	the	students,	including	special	populations	

and	students	participating	in	tech	prep	programs,	if	applicable,	and	how	the	

eligible	State	agency	will	ensure	that	the	data	reported	to	it	from	local	educational	

agencies	and	eligible	institutions, and	the	data	that	it	reports	to	the	Secretary,	are	

complete,	accurate,	and	reliable.		(section	122(c)(13);	section	205)

(9) The	State	Plan	must	describe	how	the	State	plans	to	enter	into	an	agreement	with	

each	consortium	receiving	a	grant	under	Perkins	IV	to	meet	a	minimum	level	of	

performance	for	each	of	the	performance	indicators	described	in	section	113(b)	

and	203(e).		(section	204(e)(1))

(10) The	State	Plan	must	describe	how	the	eligible	State	agency	will	annually	evaluate	

the	effectiveness	of	career	and	technical	education	programs,	and	describe,	to	the	

extent	practicable,	how	the	eligible	State	agency	is	coordinating	those	programs	

with	other	Federal	programs	to	ensure	nonduplication.		(section	122(c)(8))

(b)	Part	B.

(1) The	State	Plan	must	provide	all	the	information	requested	on	the	forms	provided	

in	Part	C	of	this	section	to	report	accountability	data	annually	to	the	Secretary	of	

Education	under	section	113(c)(1)-(2),	including:

(A) The	student	definitions	that	the	State	will	use	for	the	secondary	core	

indicators	of	performance	and	the	postsecondary/adult	core	indicators	

of	performance;	

(B) Baseline	data	for	the	core	indicators	of	performance	under	section	

113(b)(2)	using	data	from	the	most-recently	completed	program	year,	

except	that,	for	the	indicators	for	which	the	State	must	use	its	standards,	

assessment,	and	graduation	rates	adopted	under	Title	I	of	the	ESEA,	if	

the	State	chooses	to	use	its	AMOs	and	targets	under	the	ESEA,	the	

eligible	State	agency	will	not	need	to	submit	baseline	data;	and	

(C) Proposed	performance	levels	as	discussed	above,	except	that,	for	the	

indicators	for	which	the	State	must	use	its	the	eligible	State	standards,	

assessments,	and	graduation	rates	adopted	under	Title	I	of	the	ESEA,	if	

the	State	chooses	to	use	its	AMOs	and	targets	under the	ESEA,	the	

eligible	State	agency	will	only	have	to	confirm	this	information	with	the	

State’s	OCTAE	Regional	Accountability	Specialist.		Upon	the	eligible	State	

agency’s	request,	the	Regional	Accountability	Specialist	will	prepopulate	the	forms	in	Part C	with	the	State’s	current	AMOs	and	targets,	

as	appropriate,	and	send	the	forms	for	the	eligible	State	agency	to	finish	

completing.		

(2) The	eligible	State	agency	must	identify	the	program	areas	for	which	the	State	has	

technical	skill	assessments,	the	estimated	percentage	of	CTE	students	who	take	

technical	skill	assessments,	and	the	State’s	plan	for	increasing	the	coverage	of	

programs	and	students	reported	in	future	program	years.	
9

V. Tech	Prep	Programs

(a)	Part	A.

(1) The	State	Plan	must	describe	the	competitive	basis	or	formula	the	eligible	State	

agency	will	use	to	award	grants	to	tech-prep	consortia.		(section	203(a)(1))

(2) The	State	Plan	must	describe	how	the	eligible	State	agency	will	give	special	

consideration	to	applications	that	address	the	areas	identified	in	section	204(d).		

(section	204(d)(1)-(6))

(3) The	State	Plan	must	describe	how	the	eligible	State	agency	will	ensure	an	

equitable	distribution	of	assistance	between	urban	and	rural	consortium	

participants.		(section		204(f))

(4) The	State	Plan	must	describe	how	the	eligible	State	agency	will	ensure	that	each	

funded	tech	prep	program—

(A) Is	carried	out	under	an	articulation	agreement	between	the	participants	

in	the	consortium,	as	defined	in	section	3(4)	of	the	Act;

(B) Consists	of	a	program	of	study	that	meets	the	requirements	of	section	

203(c)(2)(A)-(G);

(C) Includes	the	development	of	tech	prep	programs	for	secondary	and	

postsecondary	education	that	meet	the	requirements	of	section	

203(c)(3)(A)-(D);

(D) Includes	in-service	professional	development	for	teachers, faculty,	and	

administrators	that	meets	the	requirements	of	section	203(c)(4)(A)-(F).

(E) Includes	professional	development	programs	for	counselors	that	meet	

the	requirements	of	section	203(c)(5)(A)-(F);

(F) Provides	equal	access	to	the	full	range	of	technical	preparation	programs	

(including	pre-apprenticeship	programs)	to	individuals	who	are	

members	of	special	populations,	including	the	development	of	tech-prep	

program	services	appropriate	to	the	needs	of	special	populations	

(section	203(c)(6));	

(G) Provides	for	preparatory	services	that	assist	participants	in	tech-prep	

programs	(section	203(c)(7));	and	Coordinates	with	activities	under	

Title	I.		(section	203(c)(8))

(5) The	State	Plan	must	describe	how	the	State	Plans	to	enter	into	an	agreement	with	

each	consortium	receiving	a	grant	under	Perkins	IV	to	meet	a	minimum	level	of	

performance	for	each	of	the	performance	indicators	described	in	sections	113(b)	

and	203(e).		(section	204(e)(1))
10

(b)	Part	B.

(1) The	State	must	submit	a	copy	of	the	local	application	form(s)	used	to	award	tech	

prep	funds	to	consortia	and	a	copy	of	the	technical	review	criteria	used	to	select	

winning	consortia,	if	funds	are	awarded	competitively.

VI. Financial	Requirements

(a)	Part	A.

(1) The	State	Plan	must	describe	how	the	eligible	State	agency	will	allocate	funds	it	

receives	through	the	allotment	made	under	section	111,	including	any	funds	that	

the	eligible	State	agency	chooses	to	consolidate	under	section	202(a),	will	be	

allocated	among	career	and	technical	education	at	the	secondary	level,	or	career	

and	technical	education	at	the	postsecondary	and	adult	level,	or	both,	including	

the	rationale	for	such	allocation.	(section	122(c)(6)(A);	section	202(c))

(2) The	State	Plan	must	provide	the	specific	dollar allocations	made	available	by	the	

eligible	agency	for	career	and	technical	education	programs	under	sections	

131(a)-(e)	and	how	these	allocations	are	distributed	to	local	educational	agencies,	

area	career	and	technical	education	schools,	and	educational	service	agencies	

within	the	State.			(section	131(g);	section202(c))

(3) The	State	Plan	must	provide	the	specific	dollar	allocations	made	available	by	the	

eligible	agency	for	career	and	technical	education	programs	under	section	132(a)	

of	the	Act	and	how	these	allocations	are	distributed	to	postsecondary	institutions	

within	the	State.				(section	122(c)(6)(A);	section	202(c))

(4) The	State	Plan	must	describe	how	the	eligible	State	agency	will	allocate	any	of	

those	funds	among	any	consortia	that	will	be	formed	among	secondary	schools,	

and	how	funds	will	be	allocated	among	the	members	of	the	consortia,	including	

the	rationale	for	such	allocation.	(section	122(c)(6)(B);	section	202(c))

(5) The	State	Plan	must	describe	how	the	eligible	State	agency	will	allocate	any	of	

those	funds	among	any	consortia	that	will	be	formed	among	postsecondary	

institutions,	and	how	funds	will	be	allocated	among	the	members	of	the	consortia,	

including	the	rationale	for	such	allocations.		(section	122(c)(6)(B);	section	

202(c))

(6) The	State	Plan	must	describe	how	the	eligible	State	agency	will	adjust	the	data	

used	to	make	the	allocations	to	reflect	any	change	in	school	district	boundaries	

that	may	have	occurred	since	the	population	and/or	enrollment	data	was	

collected,	and	include	local	educational	agencies	without	geographical	

boundaries,	such	as	charter	schools	and	secondary	schools	funded	by	the	Bureau	

of	Indian	Affairs.		(section	131(a)(3))	

(7) The	State	Plan	must	provide	a	description	of	any	proposed	alternative	allocation	

formula(s)	requiring approval	by	the	Secretary	of	Education	as	described	in	

section	131(b)	or	132(b).		At	a	minimum,	the	eligible	State	agency	must	provide	

an	allocation	run	for	eligible	recipients	using	the	required	elements	outlined	in	

section	131(a)	and/or	section	132(a)(2),	together	with	an	allocation	run	using	the	
11

proposed	alternative	formula(s).		Also	the	eligible	State	agency	must	include	a	

demonstration	that	the	alternative	secondary	formula	more	effectively	targets	

funds	on	the	basis	of	poverty,	as	described	in	section	131(b)(1)	of	the	Act;	and/or,	

in	the	case	of	an	alternative	postsecondary	formula,	a	demonstration	that	the	

formula	described	in	section	132(a)(2)	does	not	result	in	a	distribution	of	funds	to	

eligible	recipients	that	have	the	highest	numbers	of	economically	disadvantaged	

individuals	and	that	an	alternative	formula	would	result	in	such	a	distribution.

(b)	Part	B.

(1) The	State	Plan	must	include	a	detailed	project	budget,	using	the	forms	provided	in	

Part	B	of	this	guide.		

(2) The	State	Plan	must	provide	a	listing	of	allocations	made	to	consortia	(secondary	

and	postsecondary)	from	funds	available	under	sections	112(a)	and	(c).	

(3) The	State	Plan	must	describe	the	secondary	and	postsecondary	formulas	used	to	

allocate	funds	available	under	section	112(a),	as	required	by	section	131(a)	and	

132(a).	

(4) The	State	Plan	must	describe	the	competitive	basis	or	formula	to	be	used	to	award	

reserve	funds	under	section	112(c).	

(5) The	State	Plan	must	describe	the	procedures	used	to	rank	and	determine	eligible	

recipients	seeking	funding	under	section	112(c).

(6) The	State	Plan	must	include	a	description	of	the	procedures	used	to	determine	

eligible	recipients	in	rural	and	sparsely	populated	areas	under	section	131(c)(2)	

or	132(a)(4)	of	the	Act.
12

EDGAR	CERTIFICATIONS	AND	OTHER	ASSURANCES	FOR	THE	PERKINS	CAREER	AND	TECHNICAL	

EDUCATIONAL	AND	TECH	PREP	PROGRAMS

States	must	provide	written	and	signed	certifications	stating	that:

Part	A

1. (a) The	plan	is	submitted	by	the	State	agency	that	is	eligible	to	submit	the	plan.		(34	CFR	

76.104(a)(1))		(Note:		The	term	‘eligible	agency’	means	a	State	board designated	or	created	

consistent	with	State	law	as	the	sole	State	agency	responsible	for	the	administration,	or	the	

supervision	of	the	administration,	of	career	and	technical	education	in	the	State.		See	Sec.	

3(12);

(b) The	State	agency	has	authority	under	State	law	to	perform	the	functions	of	the	State	under	

the	program.		(34	CFR	76.104(a)(2));

(c) The	State	legally	may	carry	out	each	provision	of	the	plan.		(34	CFR	76.104(a)(3));

(d) All	provisions	of	the	plan	are	consistent	with	State	law.		(34	CFR	76.104(a)(4));

(e) A	State	officer,	specified	by	title	in	the	certification,	has	authority	under	State	law	to	receive,	

hold,	and	disburse	Federal	funds	made	available	under	the	plan.		(34	CFR	76.104(a)(5))		

(Note:		If	a	State	wishes	for	the	Department	to	continue	sending	the	grant	award	documents	

directly	to	the	State	director,	this	individual’s	title	needs	to	be	listed	on	this	portion	of	the	

assurance;

(f) The	State	officer	who	submits	the	plan,	specified	by	title	in	the	certification,	has	authority	to	

submit	the	plan.		(34	CFR	76.104(a)(6));

(g) The	agency	that	submits	the	plan	has	adopted	or	otherwise	formally	approved	the	plan.		(34	

CFR	76.104(a)(7));

(h) The	plan	is	the	basis	for	State	operation	and	administration	of	the	program.		(34	CFR	

76.104(a)(8));

Part	B

1. The	eligible	State	agency	must	submit	a	copy	of	the	State	Plan	to	the	State	office	responsible	for	

the	Intergovernmental	Review	Process	if	the	State	implements	that	review	process	under	

Executive	Order	12372.		(See	34	CFR	Part	79);

2. The	eligible	State	agency	must	provide	a	complete	and	signed	ED	Form	80-0013	for	

certifications	regarding	lobbying;	(See	34	CFR	Part	82.		To	download	ED	Form	80-0013,	and	the	

SF	LLL	Form	(Disclosure	of	Lobbying	Activities)	referred	therein,	See:	

http://www.ed.gov/fund/grant/apply/appforms/appforms.html);

3. The	eligible	State	agency	must	provide	a	complete	and	signed	Assurance	for	Non-Construction	

Programs	Form.		(See	http://www.ed.gov/fund/grant/apply/appforms/appforms.html;

4. The	eligible	State	agency	must	provide	a	signed	assurance	that	the	eligible	State	agency	will	

comply	with	the	requirements	of	the	Act	and	the	provisions	of	the	State	Plan,	including	the	
13

provision	of	a	financial	audit	of	funds	received	under	the	Act	which	may	be	included	as	part	of	

an	audit	of	other	Federal	or	State	programs.		(section	122(c)(11));

5. The	eligible	State	agency	must	provide	a	signed	assurance	that	none	of	the	funds	expended	

under	the	Act	will	be	used	to	acquire	equipment	(including	computer	software)	in	any	instance	

in	which	such	acquisition	results	in	a	direct	financial	benefit	to	any	organization	representing	

the	interests	of	the	acquiring	entity	or	the	employees	of	the	acquiring	entity,	or	any	affiliate	of	

such	an	organization.		(section		122(c)(12));

6. The	eligible	State	agency	must	provide	a	signed	assurance	that	the	State	will	waive	the	minimum	

allocation	as	required	in	section	131(c)(1)	in	any	case	in	which	the	local	educational	agency	is	

located	in	a	rural,	sparsely	populated	area	or is	a	public	charter	school	operating	secondary	

school	career	and	technical	education	programs	and demonstrates	that	it	is	unable	to	enter	into	

a	consortium	for	purposes	of	providing	services	under	the	Act.		(section	131(c)(2));

7 The	eligible	State	agency	must	provide	a	signed	assurance	that	the	State	will	provide,	from	nonFederal	sources	for	the	costs	the	eligible	agency	incurs	for	the	administration of	programs	under	

this	Act,	an	amount	that	is	not	less	than	the	amount	provided	by	the	eligible	agency	from	nonFederal	sources	for	such	costs	for	the	preceding	fiscal	year.		(section	323(a));

8. The	eligible	State	agency	must	provide	a	signed	assurance	that	the	State	and	eligible	recipients	

that	use	funds	under	this	Act	for	in-service	and	pre-service	career	and	technical	education	

professional	development	programs	for	career	and	technical	education	teachers,	administrators,	

and	other	personnel	shall,	to	the	extent	practicable,	upon	written	request,	permit	the	

participation	in	such	programs	of	career	and	technical	education	secondary	school	teachers,	

administrators,	and	other	personnel	in	nonprofit	private	schools	offering	career	and	technical	

secondary education	programs	located	in	the	geographical	area	served	by	such	eligible	agency	

or	eligible	recipient.		(section	317(a));

9. The	eligible	State	agency	must	provide	a	signed	assurance	that,	except	as	prohibited	by	State	or	

local	law,	that	an	eligible	recipient	may,	upon	written	request,	use	funds	made	available	under	

this	Act	to	provide	for	the	meaningful	participation,	in	career	and	technical	education	programs	

and	activities	receiving	funds	under	this	Act,	of	secondary	school	students	attending	nonprofit	

private	schools	who	reside	in	the	geographical	area	served	by	the	eligible	recipient.		(section	

317(b)(1));	and

10. The	eligible	State	agency	must	provide	a	signed	assurance	that	eligible	recipients	that	receive	an	

allotment	under	this	Act	will	consult,	upon	written	request,	in	a	timely	and	meaningful	manner	

with	representatives	of	nonprofit	private	schools	in	the	geographical	area	served	by	the	eligible	

recipient	regarding	the	meaningful	participation,	in	career	and	technical	education	programs	

and	activities	receiving	funding	under	this	Act,	of	secondary	school	students	attending	nonprofit	

private	schools.		(section	317(b)(2)).
14

TEMPORARY	ASSISTANCE	FOR	NEEDY	FAMILIES	PROGRAM	(TANF)

(OMB	Control	Number:		0970-0145)		

States	that	include	TANF	in	the	Combined	State	Plan	must	outline	how	the	State	will	meet	the	

requirements	of	section	402	of	the	Social	Security	Act	including	how	it	will:	

(a) Conduct	a	program	designed	to	serve	all	political	subdivisions	in	the	State	(not	necessarily	in	a	

uniform	manner)	that	provides	assistance	to	needy	families	with	(or	expecting)	children	and	

provides	parents	with	job	preparation,	work,	and	support	services	to	enable	them	to	leave	the	

program,	specifically	cash	assistance,	and	become	self-sufficient	(section	402(a)(1)(A)(i)	of	the	

Social	Security	Act).		

(b) Require	a	parent	or	caretaker	receiving	assistance	to	engage	in	work	(defined	by	the	State)	once	

the	State determines	the	parent	or	caretaker	is	ready	to	engage	in	work,	or	once	he	or	she	has	

received	24	months	of	assistance,	whichever	is	earlier,	consistent	with	the	child	care	exception	at	

407(e)(2)	(section	402(a)(1)(A)(ii)	of	the	Social	Security	Act)

(c) Ensure that	parents	and	caretakers	receiving	assistance	engage	in	work	in	accordance	with	

section	407	(section	402(a)(1)(A)(iii)	of	the	Social	Security	Act).		Consistent	with	the	required	

strategic	elements	discussed	in	section	II	(a)(2)	herein,	provide	a	specific	analysis	of	how	the	

State’s	workforce	development	activities	are	addressing	employment	and	training	services	for	

parents	or	caretakers	receiving	assistance.		

(d) Take	such	reasonable	steps	as	the	State	deems	necessary	to	restrict	the	use	and	disclosure	of	

information	about	individuals	and	families	receiving	assistance	under	the	program	attributable	to	

funds	provided	by	the	Federal	Government	(section	402(a)(1)(A)(iv)	of	the	Social	Security	Act)

(e) Establish	goals	and	take	action	to	prevent	and	reduce	out-of-wedlock	pregnancies,	with	special	

emphasis	on	teenage	pregnancies	(section	402(a)(1)(A)(v)	of	the	Social	Security	Act)

(f) Conduct	a	program	designed	to	reach	State	and	local	law	enforcement	officials,	the	education	

system,	and	relevant	counseling	services,	that provides	education	and	training	on	the	problem	of	

statutory	rape	so	that	teenage	pregnancy	prevention	programs	may	be	expanded	to	include	men	

(section	402(a)(1)(A)(vi)	of	the	Social	Security	Act)

(g) Implement	policies	and	procedures	as	necessary	to	prevent	access	to	assistance	provided	under	

the	State	program	funded	under	this	part	through	any	electronic	fund	transaction	in	an	automated	

teller	machine	or	point-of-sale	device	located	in	a	place	described	in	section	408(a)(12),	including	

a	plan	to	ensure	that	recipients	of	the	assistance	have	adequate	access	to	their	cash	assistance	

(section	402(a)(1)(A)(vii)	of	the	Social	Security	Act)

(h) Ensure	that	recipients	of	assistance	provided	under	the	State	program	funded	under	this	part	have	

the	ability	to	use	or	withdraw	assistance	with	minimal	fees	or	charges,	including	an	opportunity	to	

access	assistance	with	no	fee	or	charges,	and	are	provided	information	on	applicable	fees	and	

surcharges	that	apply	to	electronic	fund	transactions	involving	the	assistance,	and	that	such	

information	is	made	publicly	available	(section	402(a)(1)(A)(viii)	of	the	Social	Security	Act)

(i) Indicate	whether	it	intends	to	treat	families	moving	from	another	State	differently	from	other	

families	under	the	program,	and	if	so	how	(section	402(a)(1)(B)(i)	of	the	Social	Security	Act)	

(j) Indicate	whether	it	intends	to	provide	assistance	to	non-citizens,	and	if	so	include	an

overview	of	the	assistance	(section	402(a)(1)(B)(ii)	of	the	Social	Security	Act)

(k) Set	forth	objective	criteria	for	the	delivery	of	benefits	and	the	determination	of	eligibility	and	for	

fair	and	equitable	treatment,	including	an	explanation	of	how	it	will	provide	opportunities	for	

recipients	who	have	been	adversely	affected	to	be	heard	in	a	State	administrative	or	appeal	

process	(section	402(a)(1)(B)(iii)	of	the	Social	Security	Act)
15

(l) Indicate	whether	the	State	intends	to	assist	individuals	to	train	for,	seek,	and	maintain		

employment	(Section	402(a)(1)(B)(v)	of	the	Social	Security	Act)—

(1) providing	direct	care	in	a	long-term	care	facility	(as	such	terms	are	defined	under	section	

1397j	of	this	title);	or

(2)in	other	occupations	related	to	elder	care,	high-demand	occupations,	or	occupations	

expected	to	experience	labor	shortages	as,		determined	appropriate	by	the	State	for	which	

the	State	identifies an	unmet	need	for	service	personnel,	and,	if	so,	shall	include	an	

overview	of	such	assistance.

(m) Provide	for	all	MOE-funded	services	the	following	information:		the	name	of	the	program	benefit	

or	service,	and	the	financial	eligibility	criteria	that	families must	meet	in	order	to	receive	that	

benefit	or	service.		In	addition,	for	TANF	MOE-funded	services	(co-mingled	or	segregated	MOE)	

describe	the	program	benefit	provided	to	eligible	families	(SSP	services	do	not	have	to	include	a	

description	but		the	Department	of	Health	and	Human	Services	encourages	it)	(§263.2(b)(3)	&	

§263.2(c)	preamble	pages	17826-7)

TANF	CERTIFICATIONS

States	that	include	TANF	in	the	Combined	State	Plan	must	provide	a	certification	by	the	chief	executive	

officer	of	that	State,	that	during	the	fiscal	year,	the	State	will:

1. Operate	a	child	support	enforcement	program	under	the	State	Plan	approved	under	part	D.

(section	402(a)(2)	of	the	Social	Security	Act);

2. Operate	a	foster	care	and	adoption	assistance	program	under	the	State	Plan	approved	under	part	E,	

and	that	the	State	will	take	such	actions	as	are	necessary	to	ensure	that	children	receiving	

assistance	under	such	part	are	eligible	for	medical	assistance	under	the	State	Plan	under	title	XIX.

(section	402(a)(3)	of	the	Social	Security	Act);

3. Specify	which	State	agency	or	agencies	will	administer	and	supervise	the	program	referred	to	in	

paragraph	(1)	for	the	fiscal	year,	which	shall	include	assurances	that	local	governments	and	private	

sector	organizations	(section	402(a)(4)	of	the	Social	Security	Act)—

(A) have	been	consulted	regarding	the	plan	and	design	of	welfare	services	in	the	State	so	

							that	services	are	provided	in	a	manner	appropriate	to	local	populations;	and

(B) have	had	at	least	45	days	to	submit	comments	on	the	plan	and	the	design	of	such	

							services;

4. Provide	each	member	of	an	Indian	tribe,	who	is	domiciled	in	the	State	and	is	not	eligible	for	

assistance	under	a	tribal	family	assistance	plan	approved	under	section 412,	with	equitable	access	

to	assistance	under	the	State	program	funded	under	this	part	attributable	to	funds	provided	by	the	

Federal	Government. (section	402(a)(5)	of	the	Social	Security	Act);

5. Establish	and	enforce	standards	and	procedures	to	ensure	against	program	fraud	and	abuse,	

including	standards	and	procedures	concerning	nepotism,	conflicts	of	interest	among	individuals	

responsible	for	the	administration	and	supervision	of	the	State	program,	kickbacks,	and	the	use	of	

political	patronage. (section	402(a)(6)	of	the	Social	Security	Act);

6. (optional) Establish	and	Enforcing	standards	and	procedures	to	(section	402(a)(7)	of	the	Social	
16

Security	Act).—

(i) screen	and	identify	individuals	receiving	assistance	under	this	part	with	a	history	of	

						domestic	violence	while	maintaining	the	confidentiality	of	such	individuals;

																(ii) refer	such	individuals	to	counseling	and	supportive	services;	and

															(iii) waive,	pursuant	to	a	determination	of	good	cause,	other	program	requirements	such	as

																							time	limits	(for	so	long	as	necessary)	for	individuals	receiving	assistance,	residency	

																							requirements,	child	support	cooperation	requirements,	and	family	cap	provisions,	in	

																							cases	where	compliance	with	such	requirements	would	make	it	more	difficult	for	

																							individuals	receiving	assistance	under	this	part	to	escape	domestic	violence	or	unfairly

																							penalize	such	individuals	who	are	or	have	been	victimized	by	such	violence,	or	

																							individuals	who	are	at	risk	of	further	domestic	violence.
17

SUPPLEMENTAL	NUTRITION	ASSISTANCE	PROGRAM,	EMPLOYMENT	AND	TRAINING	(SNAP	E	&T)	

and	WORK	PROGRAMS	AUTHORIZED	UNDER	SECTIONS	6(d)(4)	and 6	6(o)	OF	THE	FOOD	AND	

NUTRITION	ACT	OF	2008	

(OMB	Control	Number:		0584-0083)

(a) General	Requirements2:		The	State	agency	must	prepare	and	submit	an	Employment	and	Training	

(E&T)	Plan	to	its	appropriate	Food	and	Nutrition	Service	(FNS)	Regional	Office.	The	E&T	Plan	

must	be	available	for	public	inspection	at	the	State	agency	headquarters.		A	State	agency	may

include	its	plan	for	the	SNAP	E&T	program	in	a	Combined	Plan	under	WIOA	but	will	require	FNS	

approval	prior	to	implementation	and	must	continue	to	make	a	copy	of	the	plan	available	for	

public	inspection.		If	a	State	includes	SNAP	E&T	in	a	Combined	Plan	under	WIOA,		the	State	agency	

will	detail	the	following	for	each	year	covered	by	the	Combined	Plan:

(1) The	nature	of	the	E&T	components	the	State	agency	plans	to	offer	and	the	reasons	for	such	

components,	including	cost	information.	The	methodology	for	State	agency	reimbursement	

for	education	components	must	be	specifically	addressed;

(2) An	operating	budget	for	the	Federal	fiscal	year	with	an	estimate	of	the	cost	of	operation	for	

each	Federal	fiscal	year	covered	by	the	Combined	Plan.		Any	State	agency	that	requests 50	

percent	Federal	reimbursement	for	State	agency	E&T	administrative	costs,	other	than	for	

participant	reimbursements,	must	include	in	its	plan,	or	amendments	to	its	plan,	an	

itemized	list	of	all	activities	and	costs	for	which	those	Federal	funds	will	be	claimed,	

including	the	costs	for	case	management	and	casework	to	facilitate	the	transition	from	

economic	dependency	to	self-sufficiency	through	work.	Costs	in	excess	of	the	Federal	grant	

will	be	allowed	only	with	the	prior	approval	of	FNS	and	must	be	adequately	documented	to	

assure	that	they	are	necessary,	reasonable	and	properly	allocated.		A	State	must	submit	a	

plan	amendment	to	request	budget	adjustments	at	least	30	days	prior	to	planned	

implementation;

(3) The	categories	and	types	of	individuals	the	State	agency	intends	to	exempt	from	E&T	

participation,	the	estimated	percentage	of	work	registrants	the	State	agency	plans	to	

exempt,	and	the	frequency	with	which	the	State	agency	plans	to	reevaluate	the	validity	of	

its	exemptions;

(4) The	characteristics	of	the	population	the	State	agency	intends	to	place	in	E&T;

(5) The	estimated	number	of	volunteers	the	State	agency	expects	to	place	in	E&T;

(6) The	geographic	areas	covered	and	not	covered	by	the	E&T	Plan	and	why,	and	the	type	and	

location	of	services	to	be	offered;

(7) The	method	the	State	agency	uses	to	count	all	work	registrants	as	of	the	first	day	of	the	new	

fiscal	year;

(8) The	method	the	State	agency	uses	to	report	work	registrant	information	on	the	quarterly	

Form	FNS–583;

(9) The	method	the	State	agency	uses	to	prevent	work	registrants	from	being	counted	twice	

within	a	Federal	fiscal	year.	If	the	State	agency	universally	work	registers	all	SNAP	

applicants,	this	method	must	specify	how	the	State	agency	excludes	those	exempt	from	

work	registration	under	7	C.F.R.	§273.7(b)(1).		If	the	State	agency	work	registers	

nonexempt	participants	whenever	a	new	application	is	submitted,	this	method	must	also	

 

2

7	CFR	§	273.7(c)(6).
18

specify	how	the	State	agency	excludes	those	participants	who	may	have	already	been	

registered	within	the	past	12	months	as	specified	under	7 C.F.R.	§273.7(a)(1)(i);

(10) The	organizational	relationship	between	the	units	responsible	for	certification	and	the	

units	operating	the	E&T	components,	including	units	of	the	Statewide	workforce	

development	system,	if	available.	FNS	is	specifically	concerned	that	the	lines	of	

communication	be	efficient	and	that	noncompliance	by	the	participant	be	reported	to	the	

certification	unit	within	10	working	days	after	the	noncompliance	occurs;

(11) The	relationship	between	the	State	agency	and	other	organizations	it	plans	to	coordinate	

with	for	the	provision	of	services,	including	organizations	in	the	Statewide	workforce	

development	system,	if	available.	Copies	of	contracts	must	be	available	for	inspection;

(12) The	availability,	if	appropriate,	of	E&T	programs	for	Indians	living	on	reservations	after

the	State	agency	has	consulted	in	good	faith	with	appropriate	tribal	organizations;

(13) If	a	conciliation	process	is	planned,	the	procedures	that	will	be	used	when	an	individual	

fails	to	comply	with	an	E&T	program	requirement.	Include	the	length	of	the	conciliation

period;	and

(14) The	payment	rates	for	child	care	established	in	accordance	with	the	Child	Care	and	

Development	Block	Grant	provisions	of	45	CFR	98.43,	and	based	on	local	market	rate	

surveys.

(15) The	combined	(Federal/State)	State	agency	reimbursement	rate	for	transportation	costs	

and	other	expenses	reasonably	necessary	and	directly	related	to	participation	incurred	

by	E&T	participants.	If	the	State	agency	proposes	to	provide	different	reimbursement	

amounts	to	account	for	varying	levels	of	expenses,	for	instance	for	greater	or	lesser	costs	

of	transportation	in	different	areas	of	the	State,	it	must	include	them	here.

(16) Information	about	expenses	the	State	agency	proposes	to	reimburse.	FNS	must	be	

afforded	the	opportunity	to	review	and	comment	on	the	proposed	reimbursements	

before	they	are	implemented.

(b) Able-bodied	Adults	without	Dependents	(ABAWD)3:		A	State	agency	interested	in	receiving	

additional	funding	for	serving	able-bodied	adults	without	dependents	(ABAWDs)	subject	to	the	3-

month	time	limit,	in	accordance	with	7	C.F.R.	§273.7(d)(3),	must	include	the	following	for	each	

Federal	fiscal	year	covered	by	the	Combined	Plan	under	WIOA:

(1)Its	pledge	to	offer	a	qualifying	activity	to	all	at-risk	ABAWD	applicants	and	recipients;

(2) Estimated	costs	of	fulfilling	its	pledge;

(3) A	description	of	management	controls	in	place	to	meet	pledge	requirements;

(4) A	discussion	of	its	capacity	and	ability	to	serve	at-risk	ABAWDs;

(5)Information	about	the	size	and	special	needs	of	its	ABAWD	population;	and

(6)Information	about	the	education,	training,	and	workfare	components	it	will	offer	to	meet	

the	ABAWD	work	requirement.

(c) Optional	Workfare4:	State	agencies	or	other	political	subdivisions	must	describe	in	detail	in	the	

plan	how	the	political	subdivision,	working	with	the	State	agency	and	any	other	cooperating	

agencies	that	may	be	involved	in	the	program,	will	fulfill	the	provisions	of	7	C.F.R.	§273.7(m).	If	a	

State	opts	to	operate	an	optional	workfare	program	or	modify	an	existing	optional	workfare	

program,	through	a	Combined	Plan	under	WIOA,	it	must	provide	the	following:	

 

3

7	CFR	§	273.7(c)(7)

4

7	CFR	§	273.7(m)
19

(1) State	agencies	or	political	subdivisions	submitting	a	workfare	plan	must	submit with	the	

plan	an	operating	budget	covering	the	period	from	the	initiation	of	the	workfare	program's	

implementation	schedule	to	the	close	of	the	Federal	fiscal	year	for	each	year	covered	by	the	

Combined	Plan.	In	addition,	an	estimate	of	the	cost	for	one	full	year	of	operation	must	be	

submitted	together	with	the	workfare	plan	for	each	Federal	fiscal	year	covered	by	the	

Combined	Plan.	

(2)If	workfare	plans	are	submitted	by	more	than	one	political	subdivision,	each	representing	

the	same	population	(such	as	a	city within	a	county),	FNS	will	determine	which	political	

subdivision	will	have	its	plan	approved.	Under	no	circumstances	will	a	SNAP	recipient	be	

subject	to	more	than	one	SNAP	workfare	program.	If	a	political	subdivision	chooses	to	

operate	a	workfare	program	and	represents	a	population	which	is	already,	at	least	in	part,	

subject	to	a	SNAP	workfare	program	administered	by	another	political	subdivision,	it	must	

establish	in	its	workfare	plan	how	SNAP	recipients	will	not	be	subject	to	more	than	one	

SNAP	workfare	program.

(d) Voluntary	Workfare5:		State	agencies	and	political	subdivisions	may	operate	workfare	programs	

whereby	participation	by	SNAP	recipients	is	voluntary.	In	such	a	program,	the	penalties	for	failure	

to	comply,	as	provided	in	7	C.F.R.	§273.7(f),	will	not	apply	for	noncompliance.	The	amount	of	

hours	to	be	worked	will	be	negotiated	between	the	household	and	the	operating	agency,	though	

not	to	exceed	the	limits	provided	under	7	C.F.R.	§273.7(m)(5)(ii).		In	addition,	all	protections	

provided	under	7	C.F.R.	§273.7(m)(6)(i)	shall	continue	to	apply.	Those	State	agencies	and	political	

subdivisions	choosing	to	operate	such	a	program	shall	indicate	in	their	workfare	plan	how	their	

staffing	will	adapt	to	anticipated	and	unanticipated	levels	of	participation	for	each	Federal	fiscal	

year	covered	by	the	Combined	Plan	under	WIOA.	FNS	will	not	approve	plans	which	do	not	show	

that	the	benefits	of	the	workfare	program,	in	terms	of	hours	worked	by	participants	and	reduced	

SNAP	allotments	due	to	successful	job	attainment,	are	expected	to	exceed	the	costs	of	such	a	

program.	In	addition,	if	FNS	finds	that	an	approved	voluntary	program	does	not	meet	this	

criterion,	FNS	reserves	the	right	to	withdraw	approval.

(e) Comparable	Workfare6:		The	State	agency	or	political	subdivision	must provide	a	description	of	its	

program,	including	a	methodology	for	ensuring	compliance	with	7	C.F.R	§273.7(m)(9)(ii)	for	each	

Federal	fiscal	year	covered	by	the	Combined	Plan	under	WIOA.	

(f) Process7:		The	State	agency	must	submit	amendments	to	the	SNAP	E&T	segment	of	the	Combined	

Plan	for	FNS	approval	at	least	30	days	prior	to	the	planned	implementation in	order	to	receive	

federal	SNAP	E&T	funding	for	the	activities	not	covered	by	the	approved	Combined	Plan.

(g) Plan	Modifications8:			If	FNS	determines	that	the	performance	of	a	State	agency	with	respect	to	

employment	and	training	outcomes	is	inadequate,	FNS	may	require	the	State	agency	to	make	

modifications	to	the	State	E&T	plan	to	improve	the	outcomes.

Funding	Disclaimer:		Funds	may	not	be	available	when	SNAP	E&T	portions	of	a	Combined	State	Plan	under	

WIOA	are	approved.	FNS’s	obligation	after	approving	a	SNAP	E&T	plan	submitted	as	part	of	a	Combined	

State	Plan	is	contingent	upon	the	availability	of	an	appropriation	from	which	payment	can	be	made.	Any	

 

5

7	CFR	§	273.7(m)(8)

6

7	CFR	§	273.7(m)(9)

7

7	CFR §	273.7(c)(8)

8

7	U.S.C.	2025(h)(5)(E)	as	amended	by	Agricultural	Act	of	2014	.
20

FNS	funding	resulting	from	an	approval	of	a	SNAP	E&T	plan	submitted	as	part	of	a	Combined	State	Plan	is	

subject	to	FNS	receiving	sufficient	funds	(in	the	Program	Financial	Control	System	for	FNS)	to	fund	this	and

all	prior	approved	SNAP	E&T	plans	submitted	as	part	of	a	Combined State Plan	in	their	entirety	in	the	time	

and	date	order	received.		Federal	reimbursement	to	States	for	50	percent	of	State	administrative	

expenditures	and	for	participant	reimbursements	is	subject	to	the	above	conditions.
21

TRADE	ADJUSTMENT	ASSISTANCE

(OMB	Control	no.	NEW)	

The	Trade	Adjustment	Assistance	(TAA)	program	is	a	Federal	program	that	offers	a	variety	of	benefits	

and	services	to	workers	whose	employment	has	been	adversely	impacted	by	foreign	trade.		Through	a	

number	of	benefits	and	services,	the	TAA	program	provides trade-affected	workers	with	opportunities	to	

obtain	the	support,	resources,	skills,	and	credentials	they	need	to	return	to	the	workforce	in	a	good	job.	

These	include	employment	and	case	management	services,	training,	job	search	allowances,	relocation	

allowances,	reemployment	and	alternative	TAA	wage	subsidies	for	older	workers,	and	income	support	in	

the	form	of	Trade	Readjustment	Allowances	(TRA).	

(a) The	TAA	program	is	a	required	partner	in	the	one-stop	delivery	system,	established	under	

section	121	of	the	Workforce	Innovation	and	Opportunity	Act	(WIOA).	Therefore,	given	that	

the	TAA	program	is	part	of	the	broader	workforce	system	and	a	key	goal	for	the	TAA	program	

is	to	ensure	that	trade-affected	workers	are	able	to	successfully	return	to	work,	ETA	strongly

encourages	States	to	integrate	their	TAA	program	activities	in	concert	with	other	workforce	

system	core	and	partner	programs	that	may	also	address	the	needs	of	trade-affected	workers.		

WIOA	Sec.	103(3)(A)(B).		Consistent	with	the	Governor-Secretary	Agreement,	the	States	agree	

to	use	funds	obligated	under	the	TAA	Annual	Cooperative	Financial	Agreement	(CFA),	to	carry	

out	the	TAA	program,	including:	1)	ensuring	integration	of	the	TAA	program	into	its	one-stop	

delivery	system;	2)	using	the	centers	in	this	system	or	network	as	the	main	point	of	participant	

intake	and	delivery	of	TAA	program	benefits	and	services;	and	3)	ensuring	the	terms	of	the	

Memoranda	of	Understanding	(MOU)	with	the	Local	Workforce	Investment	Boards,	as	

established	under	WIOA	section	121(c) will	apply	to	the	assistance	provided	by	other	one-stop	

partners	to	TAA	participants.	(Trade	Act	Sec.	239	(a)	as	amended	by	WIOA	section	512	(hh))

Describe	the	State’s	process	for	operating	the	TAA	program	that	ensures	coordination	and	

integration	with	WIOA	core	and	partner	programs.		Provide	examples,	if	available,	of	how	the	

co-location	of	Wagner-Peyser	in	one-stop	centers	and	the	addition	of	Temporary	Assistance	

for	Needy	Families	(TANF),	have	improved	access	to	these	services	for	trade-affected	workers.	

(b) States	must	develop	and	manage	resources	(including	electronic	case	management	systems)	to	

integrate	data,	including	co-enrollment	data,	provided	through	different	agencies	

administering	benefits	and	services	to	trade-affected	workers	in	order	to	ensure	consistent	

program	administration	and	fiscal	integrity,	as	well	as	reliable	fiscal	and	performance	

reporting.		(WIOA	section	103(b)(3))

Describe	how	the	State	will	use	TAA	funding	for	infrastructure,	other	shared	costs,	and	the	

promotion	of	the	development	of	integrated	intake,	case	management	and	reporting	systems.

(c) Except	for	States	covered	by	the	regulatory	exemption	20	CFR	618.890	(c)	or	to	perform	noninherently	governmental	functions,	States	must	engage	only	State	government	personnel	to	

perform	TAA-funded	functions	undertaken	to	carry	out	the	TAA	program,	and	must	apply	to	

such	personnel	the	standards	for	a	merit	system	of	personnel	administration	applicable	to	

personnel	covered	under	5	CFR	part	900,	subpart	F.		(20	CFR	618.890)
22

Describe	how	TAA	program-funded	benefits	and	services	are	approved	by	merit-staffed	

employees	in	accordance	with	20	CFR	618.890.

Trade	Adjustment	Assistance	(TAA)	Program	Assurances

The	Trade	Adjustment	Assistance	(TAA)	program	is	a	Required	Partner	in	the	one-stop	system,	

established	under	section	121	of	the	Workforce	Innovation	and	Opportunity	Act	(WIOA). However,	to	

receive	TAA	program	funds,	States	must	adhere	to	the	signed	Governor-Secretary	Agreement,	in	addition	

to	the	terms	and	conditions	provided	in	the	Trade	Adjustment	Assistance	(TAA)	Annual	Cooperative	

Financial	Agreement	(CFA)	and	the	Unemployment	Insurance	(UI)	Annual	Funding	Agreement,	executed	

each	fiscal	year	between	the	State	and	ETA.

The	CFA,	which	is	incorporated	by	reference	into	the	Governor-Secretary	Agreement,	explains	program	

requirements,	limitations	on	the	use	of	funds,	assurances	and	other	important	grant	provisions	that	

States	must	follow	to	receive	TAA	program	funding	for	Training	and	Other	Activities	(which	includes	

training,	employment	and	case	management	services,	and	allowances	for	job	search	and	relocation	and	

State	administration	of	these	benefits	and	services).		

At	the	beginning	of	each	fiscal	year,	ETA	provides	each	Cooperating	State	Agency	(CSA)	with	a	CFA	for	

that	year,	which	the	CSA	is	required	to	execute	and	submit	to	ETA’s	Office	of	Grants	Management.		The	

Unemployment	Insurance	(UI)	Annual	Funding	Agreement	is	the	mechanism	for	funding	the	State	

administration	of	TRA	and	older	worker	wage	subsidies	through	the	State	agency	that	administers	the	

unemployment	insurance	laws	for	the	State.

Trade	Adjustment	Assistance	(TAA)	Program	Assurances

The	State	Plan	must	include	assurances	that:

1. On	an	annual	basis,	the	CSA	will	execute	TAA	Cooperative	Financial	Agreements	and	UI	

Funding	Agreements	for	each	fiscal	year	during	the	four-year	State	planning	cycle.	
23

JOBS	FOR	VETERANS	STATE	GRANTS	

(OMB	Control	Number: 1225-0086)		

The	Jobs	for	Veterans’	State	Grants	(JVSG)	are	mandatory,	formula-based	staffing	grants	to		(including	DC,	

PR,	VI	and	Guam).		The	JVSG	is	funded	annually	in	accordance	with	a	funding	formula	defined	in	the	

statute	(38	U.S.C.	4102A	(c)	(2)	(B)	and	regulation	and	operates on	a	fiscal	year	(not	program	year)	basis,	

however,	performance	metrics	are	collected	and	reported	(VETS-200	Series	Reports)	quarterly	(using	

four	“rolling	quarters”)	on	a	Program	Year	basis	(as	with	the	ETA-9002	Series).		Currently,	VETS	JVSG	

operates	on a	five-year	(FY	2015-2019),	multi-year	grant	approval	cycle	modified	and	funded	annually.		

In	accordance	with	38	U.S.C.	§	4102A(b)(5)	and	§	4102A(c),	the	Assistant	Secretary	for	Veterans'	

Employment	and	Training	(ASVET)	makes	grant	funds	available	for	use	in	each	State	to	support	Disabled	

Veterans'	Outreach	Program	(DVOP)	specialists	and	Local	Veterans'	Employment	Representatives	(LVER)	

staff.		As	a	condition	to	receive	funding,	38	U.S.C.	§	4102A(c)(2)	requires	States	to	submit	an	application	

for	a	grant that	contains	a	State	Plan	narrative,	which	includes:

(a) How	the	State	intends	to	provide	employment,	training	and	job	placement	services	to	veterans	

and	eligible	persons	under	the	JVSG;

(b) The	duties	assigned	to	DVOP	specialists	and	LVER	staff	by	the	State;	specifically	implementing	

DVOP	and	LVER	duties	or	roles	and	responsibilities	as	outlined	in	38	U.S.C.	§	4103A	and	4104.	

These	duties	must	be	consistent	with	current	guidance;

(c) The	manner	in	which	DVOP	specialists	and	LVER	staff	are	integrated	into	the	State’s	employment	

service	delivery	system	or	one-stop	delivery	system	partner	network;	

(d) The	Incentive	Award	program	implemented	using	the	1%		grant	allocation	set	aside	for	this	

purpose,	as	applicable;

(e) The	populations	of	veterans	to	be	served,	including	any	additional	populations	designated	by	the	

Secretary	as	eligible	for	services,		and	any	additional	populations	specifically	targeted	by	the	State	

Workforce	Agency	for	services	from	one-stop	delivery	system	partners	(e.g.,	Native	American	

veterans;	veterans	in	remote	rural	counties	or	parishes);

(f) How	the	State	implements	and	monitors	the	administration	of	priority	of	service	to	covered	

persons;

(g) How	the	State	provides	or	intends	to	provide	and	measure,	through	both	the	DVOP	and	one-stop	

delivery	system	partner	staff:	(1)	job	and	job	training	individualized	career	services,	(2)	

employment	placement	services,	and	(3)	job-driven	training	and	subsequent	placement	service	

program	for	eligible	veterans	and	eligible	persons;

(h) The	hire	date	along	with	mandatory	training	completion	dates	for	all	DVOP	specialists	and	LVER	

staff;	and,

(i) Such	additional	information	as	the	Secretary	may	require.	
24

UNEMPLOYMENT	INSURANCE	

(OMB	Control	Number:	1205-0132)

The	Unemployment	Insurance	(UI)	program	requires	a	State	Quality	Service	Plan	(SQSP)	on	a	2-year	

planning	cycle	that	is	a	condition	of	receipt	of	administrative	funding	to	administer	the	program. The	

SQSP	is	the	State’s	UI	performance	management	and	planning	process	that	allows	for	an	exchange	of	

information	between	Federal	and	State	partners	to	enhance	the	UI	program’s	ability	to	reflect	their	joint	

commitment	to	performance	excellence	and	client-centered	services.		A	formal	two-year	SQSP	is	

submitted	biennially.		On	the	off	years,	States	may	be	required	to	modify	the	SQSP	with	additional	

corrective	action	plans	and	narrative	if	they	are	failing	any	new	performance	measures,	and	they	are	

required	to	provide	updated	budget	documents,	certifications,	and	assurances. ETA	Handbook	No.	336,	

18th	Edition	provides	detailed	guidance	for	the	preparation	and	submittal	of	the	SQSP	and	supplemental	

guidance	is	provided	in	an	annual	UIPL,	issued	as	UIPL	21-14	for	the	FY	2015	SQSP.		The	Social	Security	

Act	(SSA)	sections	302	and	303	authorize	the	Secretary	of	Labor	to	provide	funds	to	administer	the	UI	

program	and	govern	the	expenditure	of	those	funds. States	that	choose	the	option	to	include	UI	in	a	

WIOA	Combined State Plan	will	be	required	to	submit	their	SQSP	through	the	Combined State Plan	

process. The	SQSP	must	be	prepared	in	accordance	to	the	instructions	in	ET	Handbook	336,	18th	Edition	

and	there	are	no	changes	to	the	established	SQSP	cycle	if	a	State	chose	to	submit	their	SQSP	through	the	

Combined State Plan	process.

(a)	Contents	of	a	complete	UI	SQSP	package:		A	complete	UI	SQSP	package	includes	the	following	

documents,	as	described	in	Chapter	1,	ETA	Handbook	336,	18th Edition:

(1) Transmittal	Letter: A	cover	letter	to	the	appropriate	Regional	Office	(RO)	transmitting	all	the	

required	SQSP	documents.	

(2) Budget	Worksheets/Forms: Budget worksheets/forms	and	plan	for	program	administration	

based	on	projected	allocations	received	from	the	Federal	partner. These	forms	include	

Worksheet	UI-1	and	SF	424,	SF	424A	and	SF	424B. The	SF	424A	is	only	required	if	the	State	

vary	the	quarterly	distribution	of	base	claims	activity	staff	years.	

(3) The	State	Plan	Narrative: The	State	Plan	Narrative	is	a	vital	element	of	the	SQSP	that	provides	a	

vehicle	for	sharing	with	the	Federal	partner	State-specific	efforts	that	affect	the	administration	

of	the	UI	Program.	The	State	Plan	Narrative	allows	the	State	to	describe	in	a	single narrative:	a)	

State	performance	in	comparison	to	the	Government	Performance	Review	Act	goals;	b)	actions	

planned	to	correct	deficiencies	regarding	UI	programs,	UI	program	reviews	and	reporting	

requirements;	and	c)	results	of	customer	satisfaction	surveys	(optional).	

Corrective	Action	Plans	(CAPs): CAPs	are	expected	as	a	part	of	the	SQSP	when	State’s	annual	

performance	does	not	meet	the	established	criteria	for	core	measures,	Secretary’s	Standards,	UI	

program,	assurances,	and	other	program	deficiencies	identified	in	the	annual	SQSP	guidance	

provided	by	the	Department.

(4) UI	Program	Integrity	Action	Plan	(UI	IAP): The	UI	IAP	outlines	the	strategies	the	State	will	

undertake	during	the	planning	period	regarding	the	prevention	reduction	and	recovery	of	UI	

improper	payments.	
25

(5) Organizational	Chart: The	organization	chart	must	conform	to	the	requirement	for	delivery	of	

service	through	public	employment	offices,	or	such	other	designated	providers	as	the	Secretary	

may	authorize;	show	the	State's	configuration	from the	Governor	of	the	State	down	to	the	point	

of	Employment	Service	and	UI	customer	service	delivery;	and	provide	sufficient	detail	to	show	

each	organizational	unit	involved	and	the	title	of	the	unit	manager.	

(6) SQSP	Signature	Page.	The	State	administrator	must	sign	and	date	the	SQSP	Signature	Page. By	

signing	the	Signature	Page,	the	State	administrator	certifies	that	the	State	will	comply	with	all	

the	assurances	and	activities	contained	in	the	SQSP	guidelines.

Though	a	State	needs	to	submit	the	complete	SQSP	package	on	a	2-year	cycle,	there	are	certain	

documents	contained	in	the	SQSP	package	which	are	required	to	be	submitted	by	States	annually	as	part	

of	the	off-year	submission.	The	documents	which	are	required	to	be	submitted	annually	are	considered	a	

modification	to	the	complete	SQSP	submitted	the	previous	year. Since	funds	for	State	UI	operations	are	

appropriated	each	year,	each	State	is	required	to	annually	submit	the	transmittal	letter,	budget	

worksheets,	organizational	chart	and	the	signature	page. The	modification	may	also	include	CAPs	for	

new	identified	performance	deficiencies,	and	any	required	modifications	to	existing	CAPs.

Since	the	UI	program	is	a	required	one-stop	partner,	States	have	the	option	of	including	UI	in	the	

Combined	State	Plan	authorized	by	WIOA	sec.	103.

(b)	Requirements	for	States	electing	to	include	UI	in	the	Combined State Plan:		States	that	elect	to	include	

UI	in	the	Combined State Plan	must:

(1) Submit	an	SQSP	in	the	following	manner	depending	on	their	timing	in	the	SQSP	cycle:

(A) If	a	State	is	in	the	first	year	of	their	2-year	cycle,	a	complete	SQSP	package	must	be	

submitted. A	complete	SQSP	package	will	include	the	Transmittal	Letter,	Budget	

Worksheets/Forms,	State	Plan	Narrative,	CAPs,	the	UI	IAP,	Organizational	Chart,	and	the	

SQSP	Signature	Page. One	of	the	key	goals	for	the	UI	program	is	to	ensure	that	claimants	

are	able	to	successfully	return	to	work. As	such,	the	SQSP	State	Plan	Narrative	must	

provide	a	discussion	of	the	plan	coordination	with	other	WIOA	Combined	Plan	programs

to	ensure	a	coordinated	effort	and	integrated	service	delivery.		

(B) If	a	State	is	in	the	second	year	of	the	2-year	cycle,	the	State	is	required	to	submit	the	most	

recently	approved	complete	SQSP	package	with	a	modification	that	must	include	the	

Transmittal	Letter,	Budget	Worksheets/Forms,	Organizational	Chart,	and	the	SQSP	

Signature	page. The	modification	may	also	include	CAPs	for	new	identified	performance	

deficiencies,	and	any	required	modifications	to	existing	CAPs.	

(2) Submit	the	required	off-year	SQSP	components	as	a	modification	to	the	Combined State Plan	on	

the	same	cycle	as	the	regular	SQSP	process	which	must	be	approved	by	September	30th	each	

year.	
26

SENIOR	COMMUNITY	SERVICE	EMPLOYMENT	PROGRAM	(SCSEP)

(OMB	Control	No.	1205-0040)

(a) Economic	Projections	and	Impact

(1) Discuss	long-term	projections	for	jobs	in	industries	and	occupations	in	the	State	that	may	

provide	employment	opportunities	for	older	workers.	(20	CFR	641.302(d))(May	

alternatively	be	discussed	in	the	economic	analysis	section	of	strategic	plan.)	

(2) Discuss	how	the	long-term	job	projections	discussed	in	the	economic	analysis	section	of	

strategic	plan	relate	to	the	types	of	unsubsidized	jobs	for	which	SCSEP	participants	will	be	

trained	and	the	types	of	skill	training	to	be	provided.	(20	CFR	641.302(d))	

(3) Discuss	current	and	projected	employment	opportunities	in	the	State	(such	as	by	providing	

information	available	under	§15	of	the	Wagner-Peyser	Act	(29	U.S.C.	491-2)	by	

occupation),	and	the	types	of	skills	possessed	by	eligible	individuals. (20	CFR	641.325(c))

(b) Service	Delivery	and	Coordination

(1) A	description	of	actions	to	coordinate	SCSEP	with	other	programs.		This	may	alternatively	

be	discussed	in	the	State	strategies	section	of	the	strategic	plan,	but	regardless	of	

placement	in	document,	must	include:

(A) Planned	actions	to	coordinate	activities	of	SCSEP	grantees	with	WIOA	title	I

programs,	including	plans	for	using	the	WIOA	one-stop	delivery	system	and	its	

partners	to	serve	individuals	aged	55	and	older.	(20	CFR	641.302(g),	641.325(e))

(B) Planned	actions	to	coordinate	activities	of	SCSEP	grantees	with	the	activities	

being

carried	out	in	the	State	under	the	other	titles	of	the	Older	Americans	Act	(OAA).	

(20	CFR	641.302(h))

(C)Planned	actions	to	coordinate	SCSEP	with	other	private	and	public	entities	and

programs	that	provide	services	to	older	Americans,	such	as	community	and	faithbased	organizations,	transportation	programs,	and	programs	for	those	with	

special	needs	or	disabilities.	(20	CFR	641.302(i))

(D)Planned	actions	to	coordinate	SCSEP	with	other	labor	market	and	job	training

initiatives.	(20	CFR	641.302(j))

(E)Actions	to	ensure	that	SCSEP	is	an	active	partner	in	the	one-stop	delivery	system

and	the	steps	the	State	will	take	to	encourage	and	improve	coordination	with	the

one-stop	delivery	system.	(20	CFR	641.335)

(F)Efforts	to	work	with	local	economic	development	offices	in	rural	locations.

(2) The	State’s	long-term	strategy	for	engaging	employers	to	develop	and	promote	

opportunities	for	the	placement	of	SCSEP	participants	in	unsubsidized	employment.	(20	

CFR	641.302(e))	(May	alternatively	be	discussed	in	the	State	strategies	section	of	strategic	

plan.)

(3) The	State’s	long-term	strategy	for	serving	minority	older	individuals	under	SCSEP.	(20	CFR	

641.302	(c))	

(4) A	list	of	community	services	that	are	needed	and	the	places	where	these	services	are	most	

needed.		Specifically,	the	plan	must	address	the	needs	and	location	of	those	individuals	

most	in	need	of	community	services	and	the	groups	working	to	meet	their	needs.	(20	CFR	

641.330)
27

(5) The	State’s	long-term	strategy	to	improve	SCSEP	services,	including	planned	long-term	

changes	to	the	design	of	the	program	within	the	State,	and	planned	changes	in	the	use	of	

SCSEP	grantees	and	program	operators	to	better	achieve	the	goals	of	the	program.		This	

may	include	recommendations	to	the	Department	as	appropriate.	(20	CFR	641.302(k))

(6) The	State’s	strategy	for	continuous	improvement	in	the	level	of	performance	for	SCSEP	

participants’	entry	into	unsubsidized	employment,	and	to	achieve,	at	a	minimum,	the	levels	

specified	in	OAA	Section	513(a)(2)(E)(ii).	(20	CFR	641.302(f))

(c) Location	and	Population	Served,	including	Equitable	Distribution

(1) A	description	of	the	localities	and	populations	for	which	projects	of	the	type	authorized	by	

title	V	are	most	needed.	(20	CFR	641.325	(d))

(2) List	the	cities	and	counties	where	the	project	will	be	conducted.	Include	the	number	of	

SCSEP	authorized	positions	and	indicate	where	the	positions	changed	from	the	prior	year.

(3) Describe	current	slot	imbalances	and	proposed	steps	to	correct	inequities	to	achieve	

equitable	distribution.

(4) The	State’s	long-term	strategy	for	achieving	an	equitable	distribution	of	SCSEP	positions	

within	the	State	that:	

(A) Moves	positions	from	over-served	to	underserved	locations	within	the	State	in	

compliance	with	20	CFR	641.365.	

(B) Equitably	serves	rural	and	urban	areas.

(C) Serves	individuals	afforded	priority	for	service	under	20	CFR	641.520.		(20	CFR	

641.302(a),	641.365,	641.520)

(5) The	ratio	of	eligible	individuals	in	each	service	area	to	the	total	eligible	population	in	the	

State.	 (20	CFR	641.325(a))

(6) The	relative	distribution	of	eligible	individuals	who:

(A) Reside	in	urban	and	rural	areas	within	the	State

(B) Have	the	greatest	economic	need

(C) Are	minorities

(D) Are	limited	English	proficient.

(E) Have	the	greatest	social	need.		(20	CFR	641.325(b))

(7) A	description	of	the	steps	taken	to	avoid	disruptions	to	the	greatest	extent	possible,	when	

positions	are	redistributed,	as	provided	in	20	CFR	641.365;	when	new	Census	or	other	

reliable	data	become	available;	or	when	there	is	over-enrollment	for	any	other	reason.		(20	

CFR	641.325(i),	641.302(b))

(d) SCSEP	Operations

(1) Administrative:	describe	the	organizational	structure	of	the	project	and	how	subprojects	

will	be	managed,	including:

(A) identification	of	the	key	staff,	including	the	primary	responsibilities	and	the	

amount	of	time	assigned	to	the	SCSEP	grant;

(B) Include	an	organization	chart	depicting	any	subgrantees	or	local	affiliates	

implementing	the	grant.	Include	a	table	with	authorized	positions	for	each	

subgrantee	or	affiliate,	if	applicable;	

(C) describe	training	that	will	be	provided	to	local	staff;	

(D) describe	how	projects	will	be	monitored	for	program	and	financial	compliance,	

including	audit	plans;	and

(E) describe	how	the	State	will	manage	its	providers	and	how	it	will	transfer	

participants	if	new	providers	are	selected	to	serve	in	the	State.
28

(2) Recruitment:	describe	how	grantee	will	recruit	and	select	of	participants	will	be	achieved.	

The	eligibility	of	participants	is	described	under	20	CFR	641.500	and	641.525.	

(3)Income	Eligibility:	describe	how	participant	income	will	be	recertified	each	year,	including	

where	eligibility	records	will	be	maintained.

(4) Orientation:	describe	the	orientation	procedures	for:

(A) Participants

(B) Host	Agencies

(5) Duration	Limits:	describe	any	policy	for	maximum	duration	of	enrollment	or	maximum	

time	in	community	service	and	provide	a	copy	of	the	current	Duration	Limit	policy.

(6) Assessments:	describe	the	procedures	for	assessing	job	aptitudes,	job	readiness,	and	job	

preferences	of	participants	and	their	potential	to	transition	into	unsubsidized	employment.	

Also	describe	how	the	assessment	will	be	used	to	develop	the	participant’s	Individual	

Employment	Plan	(IEP).

(7) Community	Service	Assignments:	describe	how	the	participant	will	be	assigned	to	

community	service	including:

(A) the	types	of	community	service	activity	that	will	be	emphasized	and	how	they	

were	chosen;	methods	used	to	match	participants	with	community	service	

training;	

(B) the	extent	to	which	participants	will	be	placed	in	the	administration	of	the	

project	itself;	

(C) the	types	of	host	agencies	used	and	the	procedures	and	criteria	for	selecting	the	

assignments;	

(D) the	average	number	of	hours	in	a	participant’s	training	week;	

(E) the	fringe	benefits	offered	(if	any);	and	

(F) procedures	for	ensuring	adequate	supervision.

(8) Training:	describe	the	training	that	will	be	provided	during	community	service	

assignments	and	any	other	types	of	training	provided,	including	linkages	with	local	onestop	centers,	and	Registered	Apprenticeship.

(9) Supportive	Services:	describe	the	supportive	services	that	will	be	offered	to	help	

participants	obtain	and	retain	an	unsubsidized	job,	including	transportation	assistance	(if	

applicable).

(10) Termination:	describe	procedures	for	terminating	a	participant,	including	IEP	

terminations.	Please	provide	a	copy	of	the	current	termination	procedures.

(11) Complaints	&	Grievances:	describe	the	procedures	for	addressing	and	resolving	

participant	complaints	and	grievances	related	to	program	termination.	Please	provide	a	

copy	of	the	current	complaint/grievance	policies.

(12) Maximizing	enrollment:	describe	procedures	for	fully	enrolling	all	available	slots,

including	over	enrolling	participants,	and	how	over-enrollments	will	be	balanced	with	

equitable	distribution	requirements.	

(13) Performance:	include	a	proposed	level	for	each	performance	measure	for	each	of	the

program	years	covered	by	the	plan.	While	the	plan	is	under	review,	the	State	will	

negotiate	with	the	Employment	and	Training	Administration	to	set	the	appropriate	levels

for	the	next	year.	The	State	may	also	negotiate	performance	levels	in	a	subsequent	

modification.	At	a	minimum,	States	must	identify	the	performance	indicators	required	

under	the	SCSEP	Final	Rule	published	on	September	1,	2010,	and,	for	each	indicator,	the

State	must	develop	an	objective	and	quantifiable	performance	goal	for	the next	year.	The

performance	measures	include:	

(A) entered	employment,	
29

(B) employment	retention,	

(C) average	earnings,	

(D) service	level,	

(E) service	to	most-in-need,	and	

(F) community	service

(14) Administrative	Costs:	describe	any	request	for	an	increase	in	administrative	costs

consistent	with	section	502(c)(3)	of	the	Older	Americans	Act.

SCSEP	ASSURANCES

The	State	Plan	must	include	assurances	that:

1. Where	SCSEP	is	included	in	the	Combined	Workforce	Plan,	the	State	established	a	

written	policy	and	procedure	to	obtain	advice	and	recommendations	on	the	State	

Plan	from	representatives	of	the	State	and	area	agencies	on	aging;	State	and	local	

boards	under	WIOA;	public	and	private	nonprofit	agencies	and	organizations	

providing	employment	services,	including	each	grantee	operating	a	SCSEP	project	

within	the	State,	except	as	provided	under	section	506(a)(3)	of	OAA	and	20	CFR	

641.320(b);	Social	service	organizations	providing	services	to	older	individuals;	

Grantees	under	Title	III	of	OAA,	Affected	Communities,	Unemployed	older	

individuals,	Community-based	organizations	serving	older	individuals;	business	

organizations;	and	labor	organizations.
30

HOUSING	AND	URBAN	DEVELOPMENT	(HUD)	EMPLOYMENT	AND	TRAINING	ACTIVITIES

(OMB	Control	No.	XXXX-XXXX)

Where	employment	and	training	activities	carried	out	by	the	Department	of	Housing	and	Urban	

Development*	are	included	in	the	Combined	State	Plan,	the	lead	State	agency	for	such	activities	will	

coordinate	plans	for	employment	and	training	activities	funded	by	HUD	as	part	of	a	larger	antipoverty	

and	workforce	development	strategy.

As	part	of	the	Combined	State	Plan,	the	relevant	lead	agency	must:

														

(a)		 Describe	how	the	State	and	the	eligible	entities	will	coordinate	the	provision	of	employment	and		

training	activities	and other	relevant	supportive	services	through	Statewide	and	local	WIOA	workforce	

development	systems;	and	may

(b)		 Provide	examples	of	innovative	employment	and	training	programs	and	activities	conducted	by	

grantees	as	part	of	a	larger	antipoverty	and	employment	strategy.

*HUD	considers	such	employment	and	training	activities	to	include	the	following: Community	

Development	Block	Grant	program,	Continuum	of	Care,	Family	Self-Sufficiency	program,	Jobs	Plus	

program,	and	Resident	Opportunities	and	Self-Sufficiency	program.
31

COMMUNITY	SERVICES	BLOCK	GRANT

(OMB	Control	Number:		0970-0382)

Note:		Below	is	information	about	the	employment	and	training	activities	carried	out	under	the	

Community	Services	Block	Grant	(CSBG)	(42	U.S.C.	9901	et	seq.)	that	is	included	in	the	WIOA	Combined	

State	Plan.	The	complete	CSBG	State	Plan	is	submitted	directly	to	the	Federal	agency	that	administers	that	

program	and	is	collected	under	OMB	Control	Number:	0970-0382.

Where	CSBG	is	included	in	the	Combined	State	Plan,	the	State	CSBG	Lead	Agency	(as	designated	by	

the	chief	executive	of	the	State	under	the	requirements	of	section	676(a)	of	the	CSBG	Act	(42	U.S.C.	

9908(a))	will	coordinate	plans	for	employment	and	training	activities	under	CSBG	as	part	of	a	

larger	antipoverty	and	workforce	development	strategy.		

As	part	of	the	Combined State Plan, the	State	CSBG	Lead	Agency	must:

(a) Describe	how	the	State	and	the	eligible	entities	will	coordinate	the	provision	

of	employment	and	training	activities	through	Statewide	and	local	WIOA	

workforce	development	systems;	and	may

(b) Provide	examples	of innovative	employment	and	training	programs	and	

activities	conducted	by	eligible	entities	or	other	neighborhood-based	

organizations	as	part	of	a	community	antipoverty	strategy.	
32

REINTEGRATION	OF	EX-OFFENDERS	PROGRAM	(RExO)

(OMB	Control	Number:		1205-0NEW)

When	Reentry	Employment	Opportunities	(REO),	also	known	as	Reintegration	of	Ex-Offenders	Program	

(authorized	by	Section	212	of	the	Second	Chance	Act	of	2007	(42	U.S.C.	17532)),	is	included	in	the	

Combined	State	Plan,	the	State	and	REO	grantee(s)	will	describe	efforts	to	coordinate	services	for	justiceinvolved	individuals	with	other	employment	and	training	activities	as	part	of	a	larger	employment	

strategy.	

As	part	of	the	Combined State Plan, the	State	should:

(a) describe	how	the	State	and	the	REO	grantee(s)	will	coordinate	services	and	

activities	for	justice-involved	individuals	to	successfully	attain	employment	

and	transition	into	their	communities	with	Statewide	and	local	WIOA	

workforce	development	systems;	and	may

(b) provide	examples	of innovative	employment	and	training	programs	and	

activities	conducted	by	Faith-based	and	community	organizations	(FBCOs),	

State	reentry	councils,	and	justice	organizations	in	coordination	with	

education	and	training	providers,	one-stop	centers	and	other	supportive	

services,	which	improve	employment outcomes	for	justice-involved	

individuals.	
33

PRA	BURDENS	TABLE

OMB 

Control 

Number

Topic Estimated 

Total 

Burden 

Citation for Requirement 

to Respond

Common Form Elements

1205-

0NEW

Common Requirements and Program-Specific requirements 

for: The Adult Program, the Dislocated Worker Program, the 

Youth Program, the Wagner-Peyser Act Program, the Adult 

Education and Literacy Program, and the Vocational 

Rehabilitation Program

3,268 

hours

WIOA sec. 102 and 103

1205-

0NEW

Two Special Combined State Plan Questions: Section I of 

document “WIOA State Plan Type” and Section IV of document 

“Coordination.”

10 hours WIOA sec. 

102(b)(2)(C)(viii)

Supplemental Collections for Combined Plan Partners’ Program-Specific Elements

1830-0029 Carl D. Perkins Career and Technical Education Improvement 

Act of 2006 (P.L. 109-270) State Plan Guide

2,240 

hours

Sections 122(a)(1) and 

201(c) of the Carl D. 

Perkins Career and 

Technical Education Act of 

2006 (Act), 20 U.S.C. 2301 

et seq. as amended by P.L. 

109-270, and WIOA sec. 

103

0970-0145 Temporary Assistance for Needy Families (TANF) State Plan 

Guidance

594 hours 42 U.S.C. 602, and WIOA 

sec. 103

0584-0083 Supplemental Nutrition Assistance Program Operating 

Guidelines, Forms, and Waivers, Program and Budget Summary 

Statement

1431 

hours9

7 CFR 271-274.1, and 

WIOA sec. 103

1205-

0NEW

Trade Adjustment Assistance 50 hours WIOA sec. 103

1225-0086 Grant Application Requirements for the Jobs for Veterans State 

Grants Program

1620 

hours

38 U.S.C. § 4102A(c) , and 

WIOA sec. 103.

1205-0132 Unemployment Insurance State Quality Service Plan Planning 

and Reporting Guidelines

1530 

hours

29 CFR 97.40

ET Handbook No. 336 18th

Edition, and WIOA sec. 

103.

1205-0040 Senior Community Service Employment Program Performance 

Measurement System

406 hours 20 CFR Part 641, and 

WIOA sec. 103

1205-

0NEW

HUD Employment and Training Activities tbd10 , and WIOA sec. 103

0970-0382 Community Services Block Grant (CSBG) Model Plan 

Applications

112 

hours11

Section 676(b) of the 

Community Services Block 

Grant (CSBG) Act (42 

U.S.C. 9908(b)), and WIOA 

sec. 103. 

1205-

0NEW

Reintegration of Ex-Offenders Program 40 hours WIOA sec. 103

 

9

This	number	represents	estimated	average	burden	for	the	portion	of	the	SNAP	plan	that	covers	programs	authorized	under	section	6(d)(4)	and	section	6(o)	

of	the	Food	and	Nutrition	Act	of	2008	only.	

10 This	number	represents	estimated	average	burden	for	the	portion	of	HUD	program	plans	that	cover	employment	and	training	activities	only.

11 This	number	represents	estimated	average	burden	for	the	portion	of	the	CSBG	plan	that	covers	employment	and	training	activities	only.
34